Compliance Specialist

Hours per Week

37.5

Work Pattern

8.30am 5.00pm (Monday Friday)

Client Facing

No

Hybrid Working

Available after 2 months service (up to 2 days WFH per week)

Redmayne Bentleys Compliance teams are involved in vital work ensuring that the Firm fulfils all Financial Conduct Authority (FCA) requirements and maintains regulatory compliance.

Our firm works in a frequently evolving regulatory environment and we are looking for a specialist in this area to help us respond. You will coordinate firm-wide responses to both thematic and ad-hoc requests from the FCA as well as contribute to building greater regulatory awareness within the wider firm.

This role will collaborate with all of our Compliance teams to assess internal responses to changes as well as conducting gap analyses. You will also report to and work directly with the Director of Compliance on the implementation and oversight of our wider compliance programme.

This role is not client-facing you will be focused on building contact and relationships with colleagues across the firm as well as external stakeholders.

Further specific details about the role can be found in the job description attached to this advert.

What were looking for

Qualifications and Experience

• Professional qualifications such as ICA CII CISI or similar compliance certifications desirable.
• Ongoing commitment to professional development in regulatory compliance.
• Experience in a compliance risk or regulatory role within financial services ideally investment management or stockbroking.
• Experience supporting or coordinating responses to FCA thematic work supervisory visits or formal requests.

Skills and Competencies

• Solid understanding of the UK regulatory framework particularly FCA requirements including SYSC COBS PRIN and the SM&CR regime.
• Strong analytical and problem-solving skills with the ability to assess regulatory expectations and operationalise compliance responses.
• Strong attention to detail and ability to work independently.
• Excellent interpersonal and communication skills with the ability to work collaboratively and influence stakeholders.
• Ability to manage multiple tasks and meet deadlines.

What does the future look like

Redmayne Bentley provides support for colleagues to achieve industry standard qualifications if that is something they wish to do.

We are proud of our culture of offering development opportunities for all our colleagues whether that is via developing management skills gaining exposure to new areas of the business or via secondment opportunities.

Many of our colleagues have chosen to stay at Redmayne Bentley for a long time due to these opportunities and we aim to provide you with the same experience.

We have 150 years of successful history but we also have plans for a long and successful future which we would like to share with you.

At Redmayne Bentley our goal is to provide excellent personal investment services that enhance clients wealth.

It is an exciting time to be part of our firm having recently launched our new five-year business plan to improve grow and accelerate. We will achieve this through seeking operational and productivity improvements growing the investment management and financial planning services leveraging and protecting existing income lines and considering new acquisition opportunities.

As one of the UKs largest independent investment management and stockbroking firms we are committed to building a modern and diverse workplace where our people are offered unique opportunities to learn grow and develop across the financial sector.

Our friendly inclusive and collaborative environment rewards hard work with generous perks and benefits and we are genuinely committed to your wellbeing through our industry commended &You wellbeing framework.

Our future looks more exciting than ever come and share it with us.